DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Advisor moves
Departures from Transamerica Financial Advisors, LLC
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Eric Min Wang | Transamerica Financial Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 16, 2026 | Sep 14, 2026 |
| Samuel Joe Sturt | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2026 | Jul 1, 2026 |
| Brenda Simson | Transamerica Financial Advisors, LLC BD affiliated | Founders Financial Securities, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2026 | Jun 26, 2026 |
| Raymond Lamar Brown | Transamerica Financial Advisors, LLC BD affiliated | Keystone Wealth Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 26, 2026 | Jun 29, 2026 |
| Shirley Si Cheng | Transamerica Financial Advisors, LLC BD affiliated | Summit Global Investments, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 22, 2026 | Jun 24, 2026 |
| Lina Kuang-Chan | Transamerica Financial Advisors, LLC BD affiliated | Summit Global Investments, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 22, 2026 | Jul 8, 2026 |
| Raymond Hao Wong | Transamerica Financial Advisors, LLC BD affiliated | Summit Global Investments, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 18, 2026 | Jul 9, 2026 |
| Ronald Edward Groves | Transamerica Financial Advisors, LLC BD affiliated | Summit Global Investments, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 17, 2026 | Aug 12, 2026 (56 d) |
| Lai Mui Chu | Transamerica Financial Advisors, LLC BD affiliated | Summit Global Investments, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 16, 2026 | Jun 22, 2026 |
| David Cheng | Transamerica Financial Advisors, LLC BD affiliated | Summit Global Investments, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 12, 2026 | Jun 24, 2026 |
| Spencer Skolout | Transamerica Financial Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2026 | Jun 15, 2026 |
| Jonathan Michael Richard | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 29, 2026 | Jun 1, 2026 |
| Shkira Singh | Transamerica Financial Advisors, LLC BD affiliated | Secure Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 22, 2026 | Jun 11, 2026 |
| Jennifer C Lewis | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 12, 2026 | May 13, 2026 |
| Delane Robert Schieferstein | Transamerica Financial Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 27, 2026 | May 18, 2026 |
| Joseph Patrick David Gopez | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2026 | Apr 20, 2026 |
| Grant Alexander Rasmussen | Transamerica Financial Advisors, LLC BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2026 | May 14, 2026 |
| Jason Frank Wetmore | Transamerica Financial Advisors, LLC BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2026 | Apr 13, 2026 |
| William Charles Billings | Transamerica Financial Advisors, LLC BD affiliated | Your Ia, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 31, 2026 | Apr 23, 2026 |
| Dennis Charles Koenning | Transamerica Financial Advisors, LLC BD affiliated | Your Ia, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 27, 2026 | Apr 6, 2026 |
| Derrick Choi | Transamerica Financial Advisors, LLC BD affiliated | Your Ia, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 26, 2026 | May 1, 2026 (36 d) |
| Alan Choi | Transamerica Financial Advisors, LLC BD affiliated | Your Ia, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 24, 2026 | Apr 10, 2026 |
| Serria Tawan Rego | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 16, 2026 | Mar 16, 2026 |
| Jacob Daniel Hoth | Transamerica Financial Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 10, 2026 | Apr 16, 2026 (37 d) |
| John David Dickey | Transamerica Financial Advisors, LLC BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2026 | Feb 25, 2026 |
| Jaime Gomez Hernandez | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2026 | Apr 17, 2026 (39 d) |
| Miguel Angel Hernandez | Transamerica Financial Advisors, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2026 | Mar 17, 2026 |
| Kenneth Der | Transamerica Financial Advisors, LLC BD affiliated | Your Ia, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 19, 2026 | May 1, 2026 (71 d) |
| Gang Lu | Transamerica Financial Advisors, LLC BD affiliated | Consolidated Portfolio Review Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 9, 2026 | Feb 3, 2026 |
| Qiang Lu | Transamerica Financial Advisors, LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2026 | Mar 6, 2026 |
| Lam Thanh Giang | Transamerica Financial Advisors, LLC BD affiliated | Your Ia, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 30, 2026 | Mar 17, 2026 (46 d) |
| Gary R Fielding | Transamerica Financial Advisors, LLC BD affiliated | Your Ia, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 22, 2026 | Mar 17, 2026 (54 d) |
| Grace Campbell | Transamerica Financial Advisors, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 2, 2026 | Jan 2, 2026 |
| Stephen Derengowski | Transamerica Financial Advisors, LLC BD affiliated | Lincoln Investment independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 9, 2025 | Jan 7, 2026 |
| Makeda Gebre | Transamerica Financial Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 3, 2025 | Dec 4, 2025 |
| Edward Thomas Smelich | Transamerica Financial Advisors, LLC BD affiliated | Darwin Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 2, 2025 | Dec 2, 2025 |
| Mathew James Duvall | Transamerica Financial Advisors, LLC BD affiliated | Duvall Wealth Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 1, 2025 | Nov 25, 2025 |
| Troy Ronald Spencer | Transamerica Financial Advisors, LLC BD affiliated | Primerica Advisors national BD | Affiliated broker-dealer or bank to another | Nov 10, 2025 | Jan 2, 2026 (53 d) |
| Steven Thomson Gutke | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 7, 2025 | Nov 6, 2025 |
| Jamshid Seleh | Transamerica Financial Advisors, LLC BD affiliated | Bankers Life Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 7, 2025 | Aug 28, 2026 (294 d) |
| Srikanth Komarina | Transamerica Financial Advisors, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2025 | Nov 3, 2025 |
| Christopher M Janik | Transamerica Financial Advisors, LLC BD affiliated | Peak Horizons Capital state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 4, 2025 | Apr 7, 2026 (154 d) |
| Aubrey Lawrence Wilkinson | Transamerica Financial Advisors, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 22, 2025 | Jan 27, 2026 (97 d) |
| Orin Lee Haworth | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2025 | Nov 10, 2023 |
| Hubert Lyle | Transamerica Financial Advisors, LLC BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2025 | Oct 22, 2025 |
| Abdulla Mirpur | Transamerica Financial Advisors, LLC BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2025 | Dec 1, 2025 (60 d) |
| Karthikeyan Ethirajan | Transamerica Financial Advisors, LLC BD affiliated | Fincrafters Advisory LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 24, 2025 | Oct 17, 2025 |
| Alberto Esparza | Transamerica Financial Advisors, LLC BD affiliated | Ip Financial Advisory Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 9, 2025 | Sep 12, 2025 |
| Timothy James Rodney | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2025 | Jan 26, 2026 (144 d) |
| Bao Pham | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2025 | Jan 26, 2026 (144 d) |
| Victoria Sablan Coleman | Transamerica Financial Advisors, LLC BD affiliated | Your Ia, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 29, 2025 | Jan 12, 2026 (136 d) |
| Donald Roger Coombs | Transamerica Financial Advisors, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2025 | Sep 3, 2025 |
| Duangdao Piyanontalee | Transamerica Financial Advisors, LLC BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2025 | Sep 11, 2025 |
| Eric Barnes | Transamerica Financial Advisors, LLC BD affiliated | Portside Wealth Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 30, 2025 | Dec 5, 2025 (128 d) |
| David Edwin Martinez | Transamerica Financial Advisors, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 28, 2025 | Jul 29, 2025 |
| Lisa Lee | Transamerica Financial Advisors, LLC BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 21, 2025 | Aug 15, 2025 |
| Steven Brant Rose | Transamerica Financial Advisors, LLC BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 15, 2025 | Aug 25, 2026 (406 d) |
| Landon Eric Neuman | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 15, 2025 | Jul 14, 2025 |
| Cameron Mitchell Williams | Transamerica Financial Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 10, 2025 | Jul 10, 2025 |
| Thomas Robert Ellis | Transamerica Financial Advisors, LLC BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2025 | Jun 24, 2025 |
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1,164 moves match.